DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Karl Gregory Salocks

Cwm, LLCBD affiliatedSan Rafael, Ca IA-onlyIAPD 6086607

Certified Financial Planner

Feed of 09/15/2026

Also filed as Karl Gregory Salocks

At current firm

0 y

since Feb 10, 2026

In the industry

14 y

since Aug 22, 2012 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S66

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

Cwm, LLC BD affiliated current
since Feb 10, 2026 · Omaha, Ne
Destination Wealth Management independent RIA
Mar 4, 2025 to Oct 6, 2025 · Walnut Creek, Ca
Sierra Pacific Private Wealth, LLC independent RIA
Sep 23, 2024 to Jan 3, 2025 · Pleasanton, Ca
Morgan Stanley wirehouse
Aug 16, 2016 to Mar 22, 2024 · Walnut Creek, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Jan 29, 2016 to Jul 7, 2016 · Danville, Ca
Principal Securities, Inc. BD affiliated
Nov 3, 2015 to Jan 19, 2016 · Walnut Creek, Ca
Waddell & Reed former
Jul 1, 2015 to Aug 27, 2015 · San Mateo, Ca
Morgan Stanley wirehouse
Jul 12, 2013 to May 21, 2015 · San Francisco, Ca
Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse
Aug 24, 2012 to Dec 4, 2012 · Oakland, Ca

Moves

a registration end followed by a registration begin elsewhere

Destination Wealth Management to Cwm, LLC
left Oct 6, 2025, registered Feb 10, 2026 (127 days) · RIA to affiliated broker-dealer or bank
Sierra Pacific Private Wealth, LLC to Destination Wealth Management
left Jan 3, 2025, registered Mar 4, 2025 (60 days) · RIA to RIA
Morgan Stanley to Sierra Pacific Private Wealth, LLC
left Mar 22, 2024, registered Sep 23, 2024 (185 days) · Wirehouse to independent RIA
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley
left Jul 7, 2016, registered Aug 16, 2016 (40 days) · Wirehouse to wirehouse · moved with a team
Principal Securities, Inc. to Merrill Lynch, Pierce, Fenner & Smith Incorporated
left Jan 19, 2016, registered Jan 29, 2016 (10 days) · Other
Waddell & Reed to Principal Securities, Inc.
left Aug 27, 2015, registered Nov 3, 2015 (68 days) · Other
Morgan Stanley to Waddell & Reed
left May 21, 2015, registered Jul 1, 2015 (41 days) · Other
Merrill Lynch, Pierce, Fenner & Smith Incorporated to Morgan Stanley
left Dec 4, 2012, registered Jul 12, 2013 (220 days) · Wirehouse to wirehouse

Signals

Karl Gregory Salocks left Destination Wealth Management for Cwm, Llc (registered 2026-02-10)
Oct 6, 2025 · Advisor changed firm · fact
Karl Gregory Salocks left Sierra Pacific Private Wealth, Llc for Destination Wealth Management (registered 2025-03-04)
Jan 3, 2025 · Advisor changed firm · fact
Karl Gregory Salocks left Morgan Stanley for Sierra Pacific Private Wealth, Llc (registered 2024-09-23)
Mar 22, 2024 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 14derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address